Our Staff has compiled our research into a database of FINRA Broker Disclosures for Merrill Lynch, Pierce, Fenner & Smith Incorporated. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Peter Geoffrey Snelling | 1197337 | 3 | 09/29/2005 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Steven L Rodriguez | 2175225 | 2 | 09/07/2005 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |
| William J O'Shaughnessey | 1739562 | 4 | 08/30/2005 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Rick Baker | 2106010 | 3 | 08/25/2005 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Daniel A Krystyniak | 2480288 | 1 | 08/24/2005 | Customer Dispute | Settled | $9,058.50 | $0.00 | See FINRA Report |
| Peter Thomas Johns | 1032813 | 2 | 08/19/2005 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brian Robert Lannigan | 1586832 | 2 | 08/10/2005 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Michael Moskowitz | 1518377 | 2 | 07/25/2005 | Customer Dispute | Settled | $2,680.00 | $0.00 | See FINRA Report |
| Michael Lawrence Betzag | 2270929 | 1 | 07/25/2005 | Customer Dispute | Settled | $2,680.00 | $0.00 | See FINRA Report |
| Richard Gilbert Kelley | 2260768 | 1 | 07/21/2005 | Customer Dispute | Settled | $6,102.00 | $0.00 | See FINRA Report |